A United States federal court ordered Perry Santillo to pay US$103 million in restitution. Some clients suffered six-figure losses as money from new investors went…
Scenario analysis finds that delaying policy action raises the economic and financial sector impacts
Continuity planning enabled firms, trading venues to ride out disruption
Regulator sanctions firm for anti–money laundering compliance violations
The amendments give regulators access to audit work performed by foreign firms
Changes include clearer requirements for dealers to conduct investigations
Regulator says scheme took $2 million from investors
The regulator is stepping up public disclosure of disciplinary actions
Promises for action on OBSI have repeatedly gone unmet, however
The Fed chair said Tuesday that inflation poses a major threat to the job market
The former rep was also ordered to pay a $500,000 fine for securities violations
FCA launching series of studies in response to anti-competitive concerns
Clients lost over $1 million on risky options strategy in market crash
Stories of "crypto millionaires" have led to big bets and big losses
U.S. authorities charged three men in connection with an alleged multimillion-dollar scheme
The ex-representative embezzled funds from elderly clients
Consolidation may make it tougher for troubled firms to find merger partners
The firm agreed to a $157,500 fine and will repay 6,000 affected clients
Regulators consult on rule changes ahead of digital securities test
Randhawa to oversee innovation, modernization and outreach in new role
New supervisory data sanguine about leverage, liquidity conditions
The Ontario regulator is reviewing how well complaints are addressed
Regulator makes changes in light of new SRO and forthcoming regulations
The government will draw a line between mom and pop-style landlords and large real estate trusts that own hundreds of units
The new rule will come into force following ministerial approval